Keith L. Pompliano
Professional summary
Keith Lawrence Pompliano, who also goes by Keith Pompliano, is a registered financial professional currently at YORKVILLE SECURITIES, LLC located in Mountainside, New Jersey.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Lawrence Pompliano's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2026 - Present
YORKVILLE SECURITIES, LLC
Office #1: 1012 Springfield Ave, Mountainside, NJ 07092December 7, 2015 - August 18, 2026
B. RILEY SECURITIES, INC.
April 23, 2012 - December 3, 2019
MLV & CO. LLC
September 18, 2007 - April 23, 2012
UNX LLC
July 6, 2005 - September 13, 2005
REDWOOD BROKERAGE LLC
November 17, 2000 - August 19, 2003
NASDAQ EXECUTION SERVICES, LLC
August 25, 1997 - January 20, 1999
WEATHERLY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/10/2026)
(8/10/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/1/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
YORKVILLE SECURITIES, LLC
CRD#: 330480 / SEC#: , 8-71241
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKVILLE BD HOLDINGS, LLC | SOLE MEMBER | |
| ANGELO, MARK ANTHONY | CHAIRMAN OF BOARD OF MANAGERS | 2585969 |
| BECKMAN, MATTHEW JACOB | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 4139592 |
| BOWMAN, TIMOTHY JOSEPH | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, AND FINOP | 2247374 |
| FRANKS, OREN | CONTROLLER | 4902717 |
| MARKUNAS, MICHAEL NMN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 1832307 |
| MCNICOLL, PATRICE | CO-CEO | 3199758 |
| RILLO, TROY JAMES | MEMBER OF BOARD OF MANAGERS; CO-CEO | 1726077 |
| ROSSELLI, MICHAEL ALBERT | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 7714774 |
Red Flags
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